developing and enacting transformative innovation … · developing and enacting transformative...

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Joanna Chataway, Chux Daniels, Laur Kanger, Matias Ramirez, Johan Schot, Ed Steinmueller Science Policy Research Unit, School of Business, Management and Economics, University of Sussex Paper prepared for 8th International Sustainability Transitions Conference, 18 – 21 June 2107 in Gothenburg, Sweden DEVELOPING AND ENACTING TRANSFORMATIVE INNOVATION POLICY A COMPARATIVE STUDY

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Page 1: DEVELOPING AND ENACTING TRANSFORMATIVE INNOVATION … · DEVELOPING AND ENACTING TRANSFORMATIVE INNOVATION POLICY A COMPARATIVE STUDY. 2 Abstract The contemporary world is confronted

Joanna Chataway, Chux Daniels, Laur Kanger, Matias Ramirez, Johan Schot, Ed Steinmueller

Science Policy Research Unit, School of Business, Management and Economics,

University of Sussex

Paper prepared for 8th International Sustainability Transitions Conference, 18 – 21 June 2107 in Gothenburg, Sweden

DEVELOPING AND ENACTING

TRANSFORMATIVE INNOVATION POLICY

A COMPARATIVE STUDY

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Abstract

Thecontemporaryworldisconfrontedwithanumberofgrandsocialandenvironmentalchallengessuchas

socialinequalityandclimatechange.Traditionalinnovationpolicies,focusedontheprovisionofR&D

funding,buildinginnovationsystemsandpromotingentrepreneurialism,areprovingincreasingly

incapableofaddressingthesechallengesinasatisfactorymanner.Henceinrecentyearstherehasbeena

turntowardsadifferentframingofinnovationpolicy,placingemphasisonalternativefuturesandtheco-

productionofscience,technologyandsociety,thenon-neutralnatureoftechnology,transformative

potentialofcivilsociety,andattentivenesstotheneedsandwantsofusersandnon-usersalike.Inthis

paperweteaseoutthebasicfeaturesofthisemergentframingwhichwecalltransformativeinnovation

policy.Basedontheexperienceoffivecountries–Columbia,Finland,Norway,SouthAfrica,Sweden–we

outlinevariousattemptstopursuetransformativeinnovationpolicies,exploringassociatedchallenges,

barriersandpitfalls.

Introduction

Numerousandcriticalinterlockingenvironmental,technological,economic,politicalandcultural

challengesconfrontourworld.Theyincluderesourcedepletion,populationgrowth,industrialization,

urbanizationandinequality.Thesearecollectivechallengesexpressedin17SustainableDevelopment

Goals(SDGs;UnitedNations,2015).Theyconcernboththedevelopedanddevelopingworld,andthey

exceedtheabilityofanysinglecountry,bodyofgovernanceorscientificdisciplinetomanagethem.Whilst

innovationiswidelyinvokedasessentialtoaddressingthesechallenges,theinnovationengineoften

appearstobefalteringwiththefruitsofcreativedestructionincreasinglymorphingintodestructive

creation(Soete,2013).Innovationmaybecomeasmuchpartoftheproblemasthesolution.The

ambivalentandopen-endednatureofinnovationneedsbeincorporatedintothethinkingaboutscience,

technologyandinnovationpolicy.Wesuggestthatpolicyneedsreformulatingtoachievetheincorporation

ofaconcernwiththechoiceofvariousinnovationoptionsaskingquestionsaboutwhichdirectionsof

innovativepathwayswillindeedhelpfacetheinterlockingchallenges.Thistypeofthinkingandframinghas

beguntobearticulatedundermanydifferentlabels,forexample,ResponsibleResearchandInnovation

(Stilgoeetal.,2013),inclusiveinnovation(AgolaandHunter,2016),socialinnovation(Mulgan2007;Joly,

2016),frugalinnovation(RadjuandPrabhu,xx).Whiledifferinginmanyaspectsthebasicthemesofthese

approachesseemtoberecurrent:attentiontoalternativefuturesandtheco-productionofscience,

technologyandsociety,emphasisonthenon-neutralnatureoftechnology,stressonthetransformative

potentialofcivilsocietyandattentivenesstotheneedsandwantsofusersandnon-usersalike.

Integraltothenewapproachtoscience,technologyandinnovationpolicyshouldbeaconcernwiththe

transformationofsocio-technicalsystemsratherthanafocusontechnologicalinnovationinspecific

industries,andsectors.Thisconcernisinspiredbythesustainabilitytransitionsliterature(Grinetal.,2010).

Themainargumentfortheneedfortransformingthesesystemsisthatoptimizingexistinginstitutionsand

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practicesinenergy,healthcare,mobility,agriculture,food,mobility,communicationandwater

managementwillnotleadoverthemediumandlongtermtoanadequateresponsetodefinedsocietal

challengessuchastheonescapturedbytheSDGs.Problemsareembeddedinthefundamentalframingof

socio-technicalsystemsandreformswhichameliorateexternalitiesandnegativeimpactmayextendthe

life-spanofexistingsocio-technicalconfigurationsbutwillnotresolveunderlyingproblems.Forexample,

changestotaxationmayleadtowelcomeredistributionbutwillnotprovideincentivesfordifferent

patternsofinvestmentininnovationandeconomicgrowthwhichcouldhaveamoredirectandlasting

impact.Investmentinhealthsystemsmayleadtoshorttermimprovementsinpeople’sabilitytoaccess

healthcarebutlongtermpressuresonhealthbudgetsanddemographicchangemeanthatmoreradical

changesinhealth,socialcareandapproachestowellbeingwillbeneeded(BroerseandGrin,2017).

OverthepastyearworkingwithinthecontextofanewglobalConsortiumofScience,Technologyand

Innovationfundersandagencieswehavebeguntodocumenttheemergenceofnewwaysofframing

policyinspecificcountrycontextsandtoexplorewaysinwhichanalyseandpromoteresearchbased

approachestofurtherdevelopmentofanewpolicyapproach.TheConsortiumhasnamedthisnew

framingTransformativeInnovationPolicy(inspiredbySchotandSteinmueller,2016butseealsoSteward,

2012andWeberandRohracher,2012).Itisunderpinnedbytheoreticalperspectivesfromaliteratureson

innovation,transitions/transformationandalsorelatestobroadersetsofliterature,includingpolitical

economyperspectivesandevolutionaryeconomics,whichquestionandaddresstherelationshipbetween

science,innovationandsocialandeconomicprioritiesandbenefits.However,itisclearthattransformative

innovationpolicyneedsfurtherdevelopmentintoacompellingnarrativeaboutitsprospects,asetof

demonstratorshowitcanbedone,andanetworkofpeopleandinstitutionscapableofimplementingit..

TheTransformativeInnovationPolicyConsortium(TIPC)wasformedin2016attheSPRU50thanniversary

conference,anddesignedtoallowmemberstoco-createunderstandingaboutnewwaystousescience

andinnovationtodirectlyaddresssocial,economicandenvironmentalchallenges.Initspilotphasea

mappingexercisecombinedwithcasestudiesisdonetobuildupapictureandunderstandingofscience

andinnovationpolicyineachlocationandexistingeffortstomovepolicyinadifferentdirection.Inthe

futureTIPCwillconductexperimentsinscienceandinnovationpolicyandfundingaimedatdeveloping

insightintoeffectivewayshowofcontributingtotransformativechangerespondingtotheUNSustainable

DevelopmentGoals.

InthispaperweprovidebackgroundtoTIPC,anoverviewoftheworkofConsortiumsofarandnextsteps.

Thepaperconcludeswithanumberoffocusedquestionsaboutthenatureoftransitionsand

transformativechange.Thefollowingquestionsunderpinthispaper:

1. Howcanwedifferentiatebetweenwaysofframingresearchandinnovationpolicy?

2. Whataretheelementsoftransformativeinnovationineachofthefivecountries;and,howdoes

eachcountrycombinedifferentinnovationpolicyapproaches(orpolicymixes)topromote

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transformativeinnovation?

3. Whataresomeoftheemergingissuesinvolvedinpromotingtransitionsandenacting

transformativeinnovationpolicy?Whataresomeofthechallenges,barriersandpotential

pitfalls?

BelowbasedonSchotandSteinmueller’sfirstpaper(2016)webrieflycharacterisetwodominantpolicy

frameworksandintroduceathirdalternative.Andappendixprovidesanoverviewtablewhichfleshesout

thethreeFrames.Nextweprovideasummaryofinitialworktomapdifferenttypesofinnovationpolicyby

fivefoundingmemberoftheTransformativeInnovationPolicyConsortium,coveringthefollowing

countries:Norway,Colombia,SouthAfrica,SwedenandFinland.Wethenconsidersomeofthequestions

andissuesthattheconsortiumwillworkwithaseffortstodevelopframe3initiativesprogress.We

concludewithadescriptionofnextstepsandplannedactivitiesforTIPCmembers.

ThreeframesforSTIpolicy

Beforepresentingdifferentwaysofframingresearchandinnovationitisimportanttocaveattheanalysis.

Werecognisethattheframesbelowarenotwater-tightcategoriesandneitheraretheystatic.Frames1

and2overlapandinformedeachotherandwillcontinuetodothatwithrespecttoeachotherandFrame

3.Andeveninitsnascentstages,Frame3representsavarietyoftypesofpolicyframingsand

interventionsaimedatdirectlyaddressingsocial,environmentalandeconomicissueswithresearchand

innovation.Thesecharacterisationsofdifferentframesshouldbeseenasevolvingandanattemptto

betterunderstandtheorientationandnatureofpoliciesandinterventionsbroadlyratherthanasdetailed

andfinalisedcategories.

Frame1:R&Dleadstoinnovation

TheconceptualisationoftherelationshipbetweenR&Dandinnovationinthisframeisquite

straightforward.Researchleadstoinnovation-thekeychallengeistospendmoneyonresearchinan

enablingway.Thisframeemergesoutthe2ndWorldWarandintheaftermathofthescientificmilestones

thatoccurredinthoseyearsasaresultofsignificantinvestmentinR&D.Themainjustificationforspending

moneyinresearchunderthisframeofthinkingrevolvesaroundmarketfailure.Itisnotpossibleforprivate

sectorfunderstorecoupinvestmentinbasicresearchanda‘tragedyofthecommons’arises-noone

entityfromtheprivatesectorwillinvestinthepublicgoodofknowledge.Theframeprovidesarationale

forwhythestate,therefore,needstostepintofundbasicscienceandresearch.Inresponse,governments

inEuropeandintheUSbegantoexpandtheresearchfundingarchitectureandinstitutionalsupport

mechanismssuchaspeerreviewandother‘supply-push’mechanismsbegintotakehold.

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Thedecadesthatfollowedfromthisexpandedinvestmentinscienceandtechnologywitnessedarapid

growthinnewtechnologiesandeconomicgrowth,alongwiththeexpansionofsectorsandindustriessuch

asagriculture,aviationandtransportandhealth.However,alongsidethisrapidgrowthcamenew

challengestoenvironmentandhealthandaraftofnegativeconsequencesoftechnologicaladvancesbegin

toemerge(notunlikewasseenaftertheindustrialrevolution).Inkeepingwiththepredominanceof

scienceandscientificexpertise,theseenvironmentalandhealthconsequencesfromthe1960sonwards

aredealtwiththroughsciencebasedregulationandaparallelinfrastructurebeginstoemergetolink

expertswithpolicymakersaroundregulatingscienceandinnovation(seeforexampleJasanoff,1990).

Theimplicationsofthisapproachresultedinthedominanceoftheso-called‘linearmodel’ofinnovation.

Whilewenowappreciatethattherhetoricofsuchalinearmodelnevercapturedthecomplexityofthe

innovationprocess,itneverthelessprevailedinpolicycirclesformanyyearsandisstillinfluentialin‘pure’

ormodifiedformsthatseetheStateinvestinginthesupplyofbasicandmoreappliedR&D.

Frame2:InnovationSystems

Duringthe1970sand1980s,increasedeconomicpressuresandinternationalcompetitionbegantoexpose

thelimitationsofthefirstpolicyframework.Differencesincountry’sabilitytowithstandeconomicshocks

becamemoreapparentandthelackofsubstantialprogressinbridgingthegapbetweenthepoorestand

richestcountriesintheworldcausedconcern.

OnemajorissuethatanalystssuchasRichardNelsonandEricVonHippelbegantonoteisthatresearch

doesnotflowfreely.Knowledgeis‘sticky’andtacitanddifficulttotransfer.Countriesalsodonotfollowa

similarpath,varietiesofdevelopmentpathwaycontinuetopersist.Developmentisboundincomplex

wayswiththeinstitutionsthatproduceit.EvolutionaryeconomistssuchasPaulDavid,BrianArthur,

GiovanniDosiandothersbegantowriteabouttheimportanceofpathdependenceininnovation–

essentiallyarguingthatcountriesshouldfollowtheirownestablishedpathway,andnottrytobreakfrom

establishedroutinesandpracticeinordertofollowanidealisticmodel.

Tocapturethesecomplexities,awidevarietyofscholarsfromdifferentdisciplinaryandintellectual

backgroundsincreasinglybegantorefertoavarietyofinnovationsystems(Freeman,Lundvall,Nelson).

Thecapacity,capabilitiesandnatureoftherelationshipsbetweenorganisationsandinstitutionsinany

‘system’,beitnational,regionalorsectoral,deeplyimpactstherateandnatureofresearchwhichoccurs.

Thisframeworkshiftsattentionfromthecreationanddiffusionofresearchtoconsiderationofhow

institutionsandorganisationsfunction,andinteract(andcreatedemandforresearch).Inthis

conceptualisation,itisthelearningandabsorptivecapacitybetweendifferentactorsinthesystemwhich

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emergesasincreasinglyimportant,aswellasentrepreneurship(theavailabilityandreadinessofactorsto

bringresearchtothemarket).

Frame3:Transformativeinnovationpolicy

Inthelastdecade,science,technologyandinnovationhavebeenwidelyinvokednotsimplyasthe

foundationforfuturegrowthstrategiesbutasanimportantcomponentforresolvingarangeofsocial

issuessuchasenvironmentalandhealthchallenges.Theviewofresearchandinnovationassocially-

relevantinamultiplicityofinterdependentways,aswellaseconomically-beneficialhasledtoincreasing

recognitionthatthefirsttwopolicyframesarenotwellsuitedtothisambitionandgoalbecauseneither

conceiveofresearchandinnovationinwaystargetedtothescaleoftransformationthatisneeded.

Therelationshipbetweenresearchandinnovationinthisframeisnotfocusedonensuringinnovation

happens(asfastandasmuchaspossible)butaboutthedirectionofinnovation.Adifferentiatingfeature

offrame3isthereforetheconceptionofdirectionalityfailure(WeberandRohracher,2012;forthenotion

ofdirectionalityseeStirlingxxx).Inframe1thechallengeistoovercomemarketfailureandinframe2itis

tolinkuporganisationsandmaketheinstitutionsandactorswhichenableeffectiverelationshipsfor

researchtranslationintoinnovationswith(commercial)impact.Theaimisovercominginstitutionalfailure

andshapingmarkets.Ratherthanmarketorinstitutionalfailure,Frame3grappleswithdirectionalfailure,

or‘needsfailure’–afailuretodiscusshowtomeetsocialandenvironmentalneedswithSTI

(acknowledgingthattheseneedsarenotpredefinedorgivenbutaretobeexploredintheprocesstoo).

Meetingneedsdependsonbringingtogetheradiverseunderstandingandengagementofawiderrangeof

stakeholdersacrossallstagesofresearchandinnovationpathways,inanon-linearwaysandastronger

shifttoacultureofco-production.Routedintheoreticalworkonsocio-technicaltransitionsandlongterm

transformativechange,initialthinkingaboutFrame3indicatesthatexperimentalapproacheswhichwill

challengeexistingsocio-technicalpatternsarevitallyimportant.Evenwherenewmacrolevelinstitutions

emergeandsignaltheneedfornewdirection,suchasinternationaltreatiesornationallaws,anyprofound

changewillrevolvearoundbottom-upsocio-technicaltransitionsachievedthroughopeningupforarange

ofoptions,experimentation,learning,networking,andparticipation.Thisthinkingunderpinstheworkof

TIPC.

Howdoeseachframeaddresssocial,economicandenvironmentalchallenges?

Whilstframe3isexplicitlyaimedatdirectlyaddressingsocietalchallenges,eachoftheframesis,in

principle,abletoaddresssocialneedsandenvironmentalissues.Frame1wouldsuggestmissionoriented

R&Dfocusedonchallengesassociatedwithsocialneedsandtheenvironment,andregulationandthe

organizationofasocialbenefitsystemtocompensatethoseleftbehind.Itisasupplydrivenmodelwhich

focusesonbreakthroughs.Althoughlinkswiththemarketsandusersarerecognizedasimportantsuccess

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factorsforinnovation,themainemphasisisonstimulatinginvestmentinaneffectiveway.Whilethis

framecanintegrateneedsbyallocationofresearchfundinginareaspertinenttoaddressingsocialand

environmentalneeds(e.g.medicalresearchonnewvaccines;cleantechprograms),typicallyitdoesnot

enablesustainabilitytransitions/transformationsandinclusionofnewnon-researchactorsintotheframe

whicharecentralelementsinframe3.Frame2wouldsuggestinterveninginexistingnationalsystemsof

innovationtoachievebetteralignmentandcoordination(e.g.innovationsinthecoordinationbetween

medicalresearchandhealthcaredelivery)orstimulatingentrepreneurshipinrelevantareas.Initiatives

usingthisframingcanandoftendoincludeawiderarrayofactors,yetfocusonprocessandproduct

innovation,learningandincrementalchange.Itdoesnotfocusonradicalchange,anditleavescivilsociety

actorsattheperiphery.Insumforbothframe1and2adeepertransformationwhichwouldalignsocial&

technologicalchangeandredirectmobility,energy,food,agriculturalandhealthcaresystemsawayfrom

unsustainablepathwaysisnotacoreaim.Insteadthefocusisonstimulatinginnovationinorderto

generateeconomicgrowth.Questionsaboutthedirectionalityembeddedintheseinnovationarenotput

central.

Frame3putstheissueofdirectionalityfrontandcenter.Itwouldsuggestanticipatingandexperimenting

withnewapproachestoinnovationforsocialandenvironmentalneedsthatgoesbeyondafocuson

creatingknowledgeorimprovinginnovationsystemfunctioning,andfocusesdirectlyoncreating

conditionsforsocio-technicalsystemchange.Herethemainrationaleforpolicyis

transition/transformationheadon.Frame3policiesareopen-ended,focusedonlearning,andbottom-up

emergenceoftransformation,whilekeepingthetransformationrationaleupasamaindrivingquestion

(SchotandSteinmueller,2016).

Frames1and2ontheonehandandFrame3ontheotherhandarefollowingadistinctconceptionofhow

STIpoliciescontributetoachievingpublicwelfareandacleanenvironment(seefigure1).Thisfigureshows

thatamaindifferencebetweenframe1&2ontheonehandandframe3ontheotherhandisthatthe

formergettopublicwelfare/cleanenvironmentthroughthestimulusofeconomicgrowthandregulation,

whilethelatterencourageaddressingpublicwelfareandacleanenvironmentintheinnovationprocess

itselfassumingeconomicgrowthwillfollowtoo(albeitonewithadifferentcontent).Pleasenotethat

missingfromthefigureisthatframe3incorporatesthenotionofdirectionality,whichmightalsoleadtoa

redefinitionofeconomicgrowth.

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Figure1:STIpolicyframesandhowtheyaspiretoachievepublicwelfareandacleanenvironment.

Differentcoloursrefertodifferentframes(red–frame1,blue–frame2,green–frame3).Asolid

lineindicatesanaspectthathasbeenexplicitlyaddressedbytheframe(e.g.thelinkbetween

knowledgecreationandutilizationinframe2),whereasadashedlineindicatesanaspectthatis

expectedtofollowautomaticallyoncesomeprioractivitieshavebeenconducted(e.g.theutilization

oftheresultsofbasicscientificresearchbyindustriesinframe1orregulationwhichcorrects

failure).Asummaryoverviewofthethreeframesispresentedintableformintheappendixtothis

paper.

UsingthethreeframestomapSTIpolicyinconsortiumcountries

TheTransformativeInnovationPolicyConsortium(TIPC)isinitspilotphaseandpartoftheworkassociated

withthisphasehasbeentomapresearchfundingandinnovationinitiativesusingthe‘3Frames’asthe

basisfordiscussionandanalysis.Hereweofferaverybriefstylizedsummaryofsomeofthefindingsfrom

thismappingexerciseconductedinexistingTIPCmembercountries–Colombia,Finland,Norway,South

AfricaandSweden.WefocusonhowcountriesaremovingtowardsincorporatingFrame3perspectives.

MappingwasachievedwithbackgroundresearchcarriedoutbySPRUandTIPCpartnersandinthecontext

ofcountrybasedworkshops.

Sweden’sChallengeDrivenInitiative(CDI)exemplifieshowsomeFrame3elementsarebeingincorporated

incurrentprogrammes.InitiatedbyVinnova,CDIisdesignedaroundfourchallenges‘futurehealthcare’,

‘sustainableattractivecities’,‘informationsociety3.0’and‘competitiveproduction’.Thesegobeyond

simpleFrame1fundedresearchprogrammesaimedatsocialandenvironmentneedsbecausetheyinclude

innovationsinhowend-usersareengagedandnetworking.Theyspanmultiplethematicandsectoralareas

Create knowledge

Utilize knowledge

Economic growth

Public welfare

Clean environment

Environmental and societal challenges

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withanenvironmentalsustainabilitycontext.VINNOVAhasalsoinstigatedtheTheStrategicInnovation

Programme(SIP)whereagenda’shavebeendefinedinconsultationwithstakeholdersacrosspublic,

privateandcivilsocietysectors.TheSIPapproachisdesignedtofostermoreradicaldeparturesfrom

existingsocialandtechnologicaltrajectoriesthroughdelegationtoimplementationactors.Itinvolves

considerabledelegationofmanagerialauthorityfromcentralVINNOVAstafftoprogrammeleads.

Animportantfeatureoftheprogrammeisthatregularevaluationallowsoverallmonitoringandevidence

tofeedintodecisionsaboutdirectionandprogressofprogrammesandtheinitiativeasawhole.VINNOVA

hasalsoplanstomovemoretoanexperimentalapproachtosysteminnovationthroughthecreationof

nationalpolicylabswhichwouldallowshieldingfromregulationswhichpreventsfurtherdevelopments.

FinlandhastheBioNetsprogrammeadministeredbyTEKESandotheragencies.BioNetsis‘bottom-up’in

thatthegoalsaredefinedbythestakeholdersthemselves.Finlandalsohasanumberofinitiativeswhich

comefromsectorbasedprogrammes,andareexperimentalbynature.Reconceivingtransportasthe

provisionof‘transportservices’alongwithaccompanyingregulatoryandprocurementinitiativesisan

exampleofeffortstoexperimentwithnewsociotechnicalsystemsandalterthedirectionofinnovation.A

programmeforencouraginginclusiveinnovationinlowandmiddleincomecountriesandanewstrategic

researchfundinginitiativetoaddress‘wickedproblems’(onesinvolvingincompleteorcontradictory

knowledgeandopinion,potentiallymajoreconomiccosts,andintricateinter-dependencies)bythe

AcademyofFinlandhavealsobeeninstigated.

NorwayhasadoptedadifferentrouteintothisnewterrainbydrawingheavilyonResponsibleResearch

andInnovation(RRI)thinkingtoguideefforts.RRIunderpinsfourprogrammesfundedbytheResearch

CouncilofNorway(RCN):ResearchProgrammeonBiotechnologyforInnovation(BIOTEK2021),the

ResearchProgrammeonNanotechnologyandAdvancedMaterials(NANO2021),theInitiativeforICTand

digitalinnovation(IKTPLUSS)andtheProgrammeonResponsibleInnovationandCorporateSocial

Responsibility(SAMANSVAR).BIOTEK2021inparticularevidencesacommitmenttomeetingsocial

challenges.InnovationNorwayalsorunsaninitiativecalledDreamCommitment,abrainstormingprocess

involvingabroadcrosssectionofNorwegiansocietyinthinkingaboutfuturesocialchallenges.

The1994NationalDevelopmentPlanlaidoutthesignificantchallengesthatSouthAfricanpolicymakers

neededtoaddress.Relatedly,the1996ScienceandTechnologyWhitePaper,the1999NationalResearch

andTechnologyForesight,andthe2002NationalResearchandDevelopmentStrategyhavealllaidout

meansfortryingtolinkresearchandinnovationtosocio-economicanddevelopmentgoals.Tothisendthe

DepartmentofScienceandTechnology(DST)overseasamulti-prongedapproach.Anumberofresearch-

ledprogrammeswhichlinktoeconomicandsocialchallengesfallundertheNationalResearchFoundation

(NRF)andtheDST,whichoperatesataxdeductioninitiationtoencourageinvestmentinR&Dtogenerate

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employment.TheseinitiativesaregovernedbyFrame1implementationmodes.Anarrayofrecent

initiatives,governedbyFrame1buttoalargerextent,Frame2elements,aimatmoredirectinvolvement

andcoordinationofstakeholders,withaviewtoachievingspecificsocialandenvironmentaloutcomes.

TheseinitiativesincludetheRenewableEnergyIndependentPowerProducers’ProcurementProgramme

(REIPPPP),andDST-ledTechnologyforRuralEducationandDevelopment(Tech4RED)–aprogrammewith

sixkeycomponents:ICT,Nutrition,Health,WaterandSanitation,Energy,andScienceCentre.Other

examplesincludesupportfortheNationalHealthInsurance(NHI),andprogrammestargetedatlowincome

segmentsofthepopulation,forexample,aDSTgrassrootsinnovationinitiative.TheDepartmentofHigher

EducationandTraining(DHET)isalsoreconstructingfinancepackagestofacilitateinclusion.

RecentinitiativesinColombiathattargetresearchandinnovationonsocialandeconomicgoalsarealso

linkedtospecificdevelopmentinitiativesinadditiontoacontinuationofpoliciesandprogrammesto

supporteconomicdevelopmentgoalsandtobetterarticulatescience,innovationanddevelopment.The

2011-2014NationalDevelopmentPlanlaysoutbroadrangingapproachestolinkingacrossresearchand

innovationtosustainablegrowthandcompetitivenessacrossdifferentsectorsandareas.Theseinitiatives

mighthaveFrame3rationalesbutaredominatedbyFrame1and2featuresintheiroperation.Colombia

supportsmultipleschemessupportingpotentiallysociallyrelevantresearch.However,thesocial

innovationprogrammesfallingundertheNationalStrategyforSocialAppropriationhavemovedpolicy

towardslinkingknowledgecreationandsocialgoalsinmoredirectandtargetedways.‘Ideasparael

Cambio’launchedin2012and‘ACiencaCierta’launchedin2013bothinitiatedbyColcienciasandfunded

bytheInterAmericanDevelopmentBank(IDB)takedifferentapproachestomakingknowledgeaccessible

andusefultolocalcommunities.Thefirstengagesinpublicorprivatesectorresearchersintechnological

problemsolving.Thesecondengagescommunitygroupsinidentifyingpossiblesolutionstosocialand

environmentalproblemsandmakestheirsuggestionsaccessibletoothersbystoringtheminadatabase.

RutaN,aninitiativeinMedellintocreatefablabs,creativelabsandbusinessacceleratorshighlightthe

potentialimportanceofmunicipalitiesininstigatingFrame3typeapproaches.TheGeneralRoyaltySystem

(GRS)thatchannelssignificantfundsforSTIinvestmenttotheregionsprovidesthepotentialforboth

decentralizationofgovernanceandachangeinfocusoffundingofSTItosupportregionalinitiativesthat

canhaveabigimpactoninclusion.AparticularchallengeforColombiawillbetoensureSTIpolicyhasa

positiveimpactinthepost-conflictregionswhereworkingeducation,health,housingandagricultural

policieswillbecritical

DiscussionbasedonresultsofmappingSTIpoliciesanddiscussionswithinConsortium

Allthreeframesarevisible

AllfivecountriesprovideevidenceofamovetowardsaFrame3rationale.Theneedtoaddresssocietal

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andenvironmentalneedsthroughSTIpoliciesisrecognizedandanemergingsetofinitiativeshavealready

beenputinplacetoimplementthenewrationale.Allconsortiummembercountriesareexperiencinga

differentrangeofeconomic,socialandenvironmentalchallengesandthesechallengesshapeboththe

articulationandimplementationofFrame3approaches.Culturalandpoliticalhistoriesareimportantand

alsoaccountforsomeofthedifferencesinparticularities.Forexample,theimportanceofconsensusand

bottom-upapproachesinSweden,thelegacyofapartheidinSouthAfricaandofconflictinColombiahave

allplayedaroleinshapingthecontentandinstitutionalfeaturesofemergentFrame3approaches.

WhilstitistruethatFrame3policiesarestillmarginal,theyarepresentedascriticalandinsomecasesas

partofurgentandprioritypolicyagendas.Thereisaweightofexpectationwhichwhilstreflectingaclear

theneedfornewdirectionsinpolicymaypresentproblemsifpoliciesdonotdeliverrapidly.Eachcountry

hasitsownspecificapproachanditsownnarrativearoundtheemergenceofresearchandinnovation

policiestargetedatsocial,economicandenvironmentalchallenges.InNorwayamovetowardsamore

knowledgebasedeconomyisaccompaniedbyamovetousingResponsibleResearchandInnovation(RRI)

thinkingtomakeresearchandinnovationmoreresponsivetosocietaldemands.Swedenisdeveloping

greenbusinessasitrestructuresitsindustrialbaseandusingstatesupportedresearchandinnovationto

supportthattransition.Colombia’semergingFrame3policiesareinterwovenwithitspeaceprocessand

attemptstoovercomeregionaldivisions.SouthAfrica’sFrame3typepoliciesarecloselyalignedto

broadertransformationofaneconomybasedonthelegaciesofapartheidandintegratedintoeffortsto

overcomeexclusionandunemployment.Finland’sdevelopmentofFrame3policiesareintegratedinto

initiativesaimedatovercomingeconomiccrisis,andmakingupforthelossofNokia.

Inallfivecountries,thedifferencesbetweentheFramesareimplicitratherthanarticulated.Thishas

consequencesforthewayinwhichpolicyisdeveloped,forthewayitisimplementedandforthewayitis

monitored.ItalsoseemslikelythatlackofamoreclearlydefinedFrame3agendamaylimitconsideration

ofamoreformalreflectionofhowdifferentframingsofpolicyandinstrumentsassociatedwiththemmight

ormightnotsupportorhindereachotherandwhatgapsmightexist.Rather,thereisanimplicit

assumptionthatpoliciesandinstrumentsassociatedwiththemcanbeeasilycombined.Thereisalso

limitedconsiderationofnewinstrumentsandmechanismsthatmightneedtoaccompanychangesinhow

organizationsfundresearchandbuildnetworks.Frame3aimsarelargelypursuedusingFrame1&2

instruments.

YetsomeConsortiummembersarecurrentlygrapplingwithhowtointegrateframe3elementsmore

explicitlyanddeveloppolicyinterventionsandbuildclearerconceptualapparatustoguidepolicy

development,implementationandevaluation.Oneexpressionofthisisthatduringthemappingprocess

twoconsortiumagenciesbegantothinkaboutamoreextensivemappingexercisethatwouldmapall

instrumentsandprogramsontothemultilevelperspective(MLP)representationoftransformativechange

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inordertoidentifygapsininstruments.Here,nicheexperimentswouldbethoughtaboutinrelationto

changesneededtofacilitatebroadermeso-levelchangeandinrelationtosupportorobstaclespresented

bybroaderpolicytoolsandenvironments.Thiskindofexercisewouldpotentiallyhavemanybenefits

includingencouragingreflectionon‘policymixes’whichcouldfacilitatesuccessfultransition(Roggeand

Reichardt,2015)andpoliticaleconomyfactorswhichfacilitateorimpedetransitionandtransformation

(ByrneandMbeva2017).

ThebalanceacrossthethreepolicyresearchframesemphasisingFrames1and2areverylikelytobethe

subjectofongoingdebate.PartofthecomplexmanagementissuesrelatedtodevelopingFrame3willbein

definingwhereandhowitintersectswithpolicyandinterventionsrootedinotherframes.Thisposes

importantquestionsabouthowbesttoachievepotentialsynergiesacrossframesandacrosskeyactorsand

organisationsassociatedwitheachframe.Forexample,willhousingFrame3instrumentsandapproaches

alongsideFrames1and2typefundingmechanismsincreasetheirprominenceandimpactorincreasetheir

vulnerabilitytocaptureorfurthermarginalisation?ThismaywelldependontheextenttowhichFrames1

and2initiativesbegintodefinethemselvesinrelationtonewapproachesandthekindsoflinksthatareor

arenotbuiltbetweenthethreeframes.Forinstance,iftraditionalFrame1researchoutputsare

systematicallymadeaccessibletosociallyandenvironmentallyorientedinitiativeswilltherebeeffective

feedbackfromtheseinitiativesthatincreasethepaceofinnovationandfosteralternativedirections.

Similarly,iftraditionalnetworkandlinkageinitiativesbegintoincorporatesocialgoalswillthosewishingto

includeotherFrame3featuresbeeffectiveinarguingfordifferentconfigurationsof

actors,practices,andgovernanceprocesses?

Actorsandnewmanagementandorganizationalpractices

Ineachcountry,theconstellationofactorsinvolvedininitiativeswithFrame3characteristicsand

ambitionsisdifferent.Inallcountries,traditionalfundersofresearchandinnovationhaveplayedakey

role.Thusthereisevidencethatfundersareseekingtomovemoretoaroleofchangeagentfor

transformativechange.Thisisfarfromstraightforwardofcourse.Initialanalysissuggeststhatthismaybe

linkedtothepointmadepreviouslythatexplicitarticulationofFrame3rationale,andtheoriesofchange

forhowtoaddresssocietalandenvironmentalchallengesthroughSTIpoliciesaremissing.

Theactiveinvolvementofmultiplegovernmentministries,andahostoflocalactors,includegrassroots

innovators,informaleconomyactors,andcivilsocietyandcityactorsiskeytoFrame3initiatives.Involving

amultiplicityofactorsdoesnotnecessarilymeanconstructiveornon-rivalrousrelationshipsbetween

them,andtransformationprocessestypicallywillinduceandprovokeconflict,e.goppositionsanda

diversityofviewsandpositions.Thiscanbeproductivesinceitmightleadtosecond-order(ordeep)

learning,yetobviouslyitcanalsoleadtonoiseandnon-action,orevencounter-action.Whetherornot

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conflictexists,frame3approachesaddcomplexityofparticipation,andthisagainraisesquestionsabout

managementandappropriatemanagementandgovernancearrangements.Oneoftheaimsinthecase

studiesthatwewillintroducelaterinthepaperistoexplorethewayinwhichconflictanddisagreementis

handled.

Ahostofquestionsneedtobeaskedinrelationtothewaythatmoreengagedagendasdevelop.Will

‘bottom-up’participativemechanismsactuallyreflecttheneedformoreradicaltransformationtoachieve

environmentalorparticularsocialgoalsorwilltheyreflectlowestcommondenominatorsandaseriesof

compromisesthatmayneedtobemade?Ormightmoreradicalagendasbecapturedbypowerful

interests?InSweden,anOECDassessmentindicatesthatwhilsttheCDIprogrammebuildsexplicitlyon

actionorientedapproachesinvolvingmultiplestakeholders,includingend-usersandgivesthoseusers

moreresponsibilityinimplementingandmonitoringprojects,theoutcomesarequiteconventional.The

sameOECDreportnotesthattheSIPprogramme,whilstalsoseeminglybuiltontheneedformoreradical

changeininnovationtrajectoriesandnewpatternsofengagementbetweenstakeholders,maybereflecting

themoretraditionalshorttermgrowthorientedobjectivesofpowerfulindustrialpartners(Coenenetal,

2017).

Anotherquestionoftenaskediswhethertherelationshipbetweenactorsshouldbemanagedthrough

administrativecoordinationsuchasinvariousinter-ministerialcommitteesorevennationalscience,

technologyandinnovationcouncil?Ormightthisapproachruncountertotheexperimentalethoswhich

SchotandSteinmueller(2016)suggestmightplayacrucialroleinthedevelopmentofFrame3

approaches?Inthatcasethebestoptionisperhapsnottofocusonadministrativecoordinationbut

engagearangeofactorsinnewinitiativestoensurecoordinationontheground.

Experimentation

TheFrame3perspectiveconteststheideathatthereisabestoroptimalapproachtoachievingthesocio-

technicalinnovationsnecessaryformeetingsocialandenvironmentalneeds.Itthereforefocuseson

experimentalapproaches.Experimentalapproachesinthiscasedonotimplythatrandomisedclinical

trialsarethemostappropriatemeansofprogressingpolicy.Thelevelsofcontextualdifferenceand

variationaretoogreattomakethatapproachthemostrelevantvehicleforlearningorestablishinggood

practice,andthefocusonabroadchangeprocesscannotbecapturedthroughRCTs.Experimentshaveto

beseenasinstrumentcontributiontonicheformation.Therelationshipsbetweennicheexperiments,

socio-technicaltransitionandtransformationisanimportantcomponentoftheoreticalframework

underpinningTIPCwork(SchotandSteinmueller,2016)).Thisincludesafocusonshielding,nurturingand

empoweringofniches.Atthesametimeadestabilisationofprevailingsocio-technicalsystemsisseenasa

necessaryconditionforenduringchangetoo.Anotheraspectofanalysisthatishighlightedbytheneedto

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viewsmallerscalenicheexperimentsastriggersfortheintroductionofmoreradicalchangeistheneedto

developthinkingandunderstandingofthepoliticaleconomyofframe3initiatives.Recentworkon

politicaleconomyperspectivesmakesastrongargumentfor‘discursiveinstitutionalist’approachesto

politicaleconomyanalysis(Kern,2011;ByrneandMbeva,2017)whichareparticularlyrelevantto

situationscharacterizedbyhighdegreesofuncertaintyinwhichactorsmaynotfullunderstandtheir

interests(HudsonandLeftwich2014).Fromthisperspectiveitisimportanttofocusonideasand

discourses,aswellasinterestsandinstitutions.

InallofthecountriesparticipatinginTIPC,experimentationwithnewpracticeanddiscussionsonnew

directionsforinnovationpolicycanbediscerned(whiledestabilizationpoliciesarenotpresent).InSouth

Africa,thetriplechallengeoferadicatinginequality,povertyandunemploymentisthebackdropfornew

initiativeswhichdevolveresponsibilitiestolocalcommunities,seektosupportgrassrootsbased

entrepreneurialism,andbringstakeholderstogetherforimprovementsineducation.Thereisalsoan

indicationofbroaderinvolvementofactorsinColombiainalimitedrangeofprogrammeswithaparticular

emphasisonarticulatingproblemsfromacommunitylevelandexpressingtheseonlinetoencourageideas

forsolutionsfromavarietyofsources.Policiesandprogrammesthatspecificallylinkresearchtosocial

goalsareorientedtotraditionalactorsbutalsosupportedbyanewNationalStrategysupportedby

taxationonmineralroyalties.Aregionaldevelopmentbankhasalsoplayedanimportantroleinhelpingto

bridgebroaderdevelopmenteffortstoscienceandresearchpolicy.Inbothcountries,however,

experimentswithnewconfigurationsofactorsandmoredecentralisedinitiativesaresecondarytoefforts

aimedatmaintainingorimprovingtraditionalscience,technologyandinnovationsinstitutions.Asimilar

conclusioncanbedrawnforNorway,SwedenandFinlandfortheirresponsibleresearchandinnovation

initiatives,andtheirchallengeledandstrategicprogrammes.

Inallfivecountries,thereareexamplesofimportantexperimentalinitiativesoflocalmunicipalities,cities

orregionalauthoritiesinpromotingFrame3approaches.Intermsoffosteringexperimentalapproaches,

creatingspaceinbroaderregulatory,organisationalandinstitutionalframeworksfortheseinitiativesisa

significantissue.Animportantquestionmightbehowweconnecttheseinitiatives,upscalethemand

makethemtransformative.Thisquestioncanbeansweredonanationalbutalsotransnationalscale.This

connectingupworkmightbeanimportantrolefornationalfundersandinnovationagencies.

Roleoffunders

TheConsortium’scompositionfocussesattentionontheroleofnationalresearchfundersonthebalance

betweentheFramesandtheunderstandingsanddefinitionsofsocialandenvironmentalneeds.Because

researchfundershaveanongoingresponsibilityfortheknowledgeinfrastructureandbecausetheyare

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majorplayersinthenationalinnovationsystemsitwouldbesurprisingiftheychosetocastaside

establishedpracticesofgovernanceandevaluationmechanismswhichsupportsthatgovernance.

However,conventionalindicatorsassociatedwithspendingonresearcharepowerfulandshapeaswellas

measurebehavior.GovernanceandevaluationarekeytotheextenttowhichFrame3areabletotake

rootinpolicyenvironments.

Theexperimentationwithpracticenotedinprevioussectioninvolvesanongoingsetofchangesinthe

structureofgovernancewhichinvolvebothdispersalofadministrativecontroltootheractorsand

assumptionofamoreactiveroleintheimplementationofinitiatives.Theprincipaltypeofdispersalisin

thedefinitionofinitiativeswhereitnowseemsbroadlyacceptedinallthecountriesthatlocal(intermsof

geographyorsector)definitionofobjectivesandthemeansofmeetingthoseobjectivesisdesirable.This

change,inturn,leadstootherquestionsconcerninggovernance.

Wheretraditionalfundingarrangementsmightfocusonwell-establishedactors,newinitiativesarelikelyto

involveamultiplicityoforganisationaltypes,mostofwhicharelessformalandperhapslessstablethanthe

traditionalactors.Thishasimplicationsforthefundingagencies’rolesinmonitoringactivitiesandmaking

interventionsduringthelifeofparticularprojects.Italsosuggestsalessarms-lengthrelationshipbetween

thefundingagencyandthosewhomightseektobeincludedinnewinitiatives.Towhatextentdofunding

agenciesneedtodevelopnewcapabilitiesforpromotingtheavailabilityandassistingintheapplicationfor

supportforsocialandenvironmentalinitiativethathaveFrame3elements(broaderparticipation,

opennesstoexperimentation,andattentiontoissuesofanticipationorforesight)?

Evaluation

Weareatanearlystagewithdevelopingevaluationtoolsandperspectivesfortransformativechange.

Frames1and2areassociatedwithavarietyofsupply,networkinganddemandpolicyinterventions.The

relativesuccessofthoseinterventionscanbemeasuredagainsttheoreticalandpracticebasedexpectation

andlearning.Frame3initiativesaremakinguseofsomeofthesamemechanismsintargetingsocial,

economicandenvironmentalchallengesbutasyetlittlethoughthasbeengivenastowhethernew

instrumentsareneededorwhetherdifferentcombinationsofpoliciesmaybecombinedinnovelwaysto

achievedifferentaimsandobjectivesandwhetherinitiativesthatdonotachieveimmediategoalsshould

bejudgedtohavefailed.Insummary,thefollowingissuesandevaluationcriteriawillbeimportantto

consideraspartofdevelopingFrame3policythinkingforevaluation:

1. Democratisationofdeliberationandchoicewithregardtogoalsandpossiblyimplementation(withthe

accompanyquestionofhowtodemocratisegovernanceandevaluation).Howcanthesecriteriabe

builtintoevaluationframeworks?

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2. Explicitconsiderationisneededofmeanstodisruptexistingarrangementsthatarenegativelyaffecting

orblockingpathstomeetingsocialandenvironmentalneeds(notonly‘bad’prospectiveinnovations

butexistinginnovationsthathavenegativeimplications).Whatisthebestwaytoidentifyandevaluate

theimpactofnegatives?

3. Explicitpursuitofexperimentalapproachesbaseduponthelogicthata)moreofthesame(policies,

practices,etc.)producesmoreofthesame(outcomes,perpetuationofpoliciesandpractices)andb)a

priororexanteknowledgeofbestalternativesisunavailablewithoutexperience.Butadaptationwill

beimportant.Howcanwepromoteadaptiveapproaches?

4. Existingevaluativeframeworksandmethodsreinforceexistingpracticesandbiasplanningand

implementationtowardprioritisingtraditionalgoals.Nonetheless,newevaluativeframeworksand

methodsareneededforaccountability.Canex-antemethodsandtheoryofchangeapproachesbe

helpfulhere?

5. Abroaderscopeofanalysisisneededtoanticipatealignmentinchangeswithspecificsocio-technical

systemsinthedirectionofmoreprofoundchange.Whatshouldbetheindicatorsandsignsofchange

thatweidentifyanduse?

ThesequestionsareatthecoreoftheevaluationandaccountabilityanalysisthatTIPChopestodevelop

andwillbeimportantasconsortiummembersprogressexperimentsinFrame3policy.Whatmakesan

experimentworthdoing?Cananexperimentthatfailstoachieveitsinitialobjectivesbeseenasan

investmentwithasocialreturn?Ifthereisnotauniversalpathtotransformation,howcanweevaluate

thenatureoftransition?Howcanweassesswhenaparticularinitiativeistogeneratehigherorderor

doublelooplearning(learningusefulinsightsaboutthelargerprocessinwhichtheinitiativeislodgedthat

willpositivelyinfluencethedefinitionandimplementationoffutureinitiatives)?Atpresent,themapping

worksuggestthatFrame3initiativesarebeingundertakenbecauseoftheirself-evidentvalue–i.e.

becausetheirobjectivesareconsistentwithaddresssocialorenvironmentalchallenges.Insomecases,

particularlyinthecasesoftheScandinaviancountries,initiativeshavebeentakenunderthepremisethat

betteroutcomesmightbepossiblebymore‘bottomup’definitionofinitiatives.Ineithercasetheeternal

evaluativequestion–howcanweknowwhetherprogresshasbeenachieved?–isrelevant.

WorkinthispilotphaseofTIPCwillinformthedevelopmentofbroaderevaluationapproachesandthe

developmentofFrame3basedtheoriesofchange.Theseevaluationstrategiesneededtoberootedin

theoreticalunderstandingoftherelationshipsbetweennicheexperimentation,socio-technicaltransition

andtransformation,politicaleconomyperspectivesaswellasinitiallearningfromthemappingexercise

andthecasestudieswhichdiscussedinthenextsection.Currently,thelackofexplicitarticulationof

Frame3rationalesandlogicsisabarriertobeingabletodevelopmoreprecisethinkingaboutwhatspecific

partnerships,networks,interventions,instrumentsandpolicytoolsaremeanttoachieve(Marjanovicetal,

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2013)todevelopingamorecoherentapproachtodevelopingFrame3thinking.Learningandadaptationis

centraltoFrame3thinkingandsotheabilitytocontinuallyiteratebetweenintendedimpactsand

outcomesandimplementationisvital.

TheoriesofchangeanddevelopmentofFrame3narrativesmaybeusefullysupportedbyvarioustypeof

‘futures’andex-anteevaluationwork.Consortiummembershavebeguntothinkaboutthis.Forexample,

FinlandandNorwayaretosomeextentintegratingforesightactivitiesintocurrenteffortstolinkresearch

andinnovationwithtargetedsocialandenvironmentalgoals.Foresight,andotherfuturestechniques,may

wellbeanimportanttoolforprovokingmorecreativeandradicalapproachestotransformation.

Scenariosbasedapproaches,particularlythosethatareagentbasedandlookathowbehavioursmay

changeandevolvecouldhelpbothindesigningandmonitoringworkandencouragingexperimentation.

Usingfuturesworkindevelopingtheoriesofchangemayalsobeawaytocountertheinherent

conservatism(thetendencyistolookforevidencethatapproacheshaveworkedinthepastnottoconsider

thescenarioswhichmayallowthemtoworkinfuture)inex-anteevaluationofproposalsforFrame3type

work.

3.Nextsteps:Developingcasestudies

Consortiummembersarecurrentlyworkingonaseriesofcasestudieswhichwillenablefurtheranalysisof

thefactorsthatpromoteandimpedeattemptstofocusresearchandinnovationdirectlyonsocialand

environmentalgoals.Theywillalsobeusedtostrengthentheoreticalunderpinningsrelatedtoframe3

transitionsandtransformativepolicy.Thisinturnwillfeedintodevelopmentofrealisttheoryofchange

basedevaluationsthatwillbeusedtoevaluateandmonitorprogressinworkonframe3‘experiments’

whichwillfollowthispilotphaseofTIPC.

Casescoverdiverseareasbuthavebeenselectedaccordingtothefollowingprinciples:1)directionality:

focusonalternativefuturesassociatedwithtechnologicaldesignchoices;2)goal:focusongrand

environmentaland/orsocialchallenges;3)impact:focusonsocio-technicalsystemsandsystem-level

issues;4)degreeoflearningandreflexivity:focusonsecond-orderlearning,problematizationofoperating

routinesofdifferentactorsandthecreationofspacesforexperimentation;5)conflict:focusondisruptive

change,possiblyresultinginmajordisagreementsbetweenactors;6)inclusiveness:focusoninitiatives

withabroadbaseofparticipation,includingtheconsiderationofnon-usersaspotentiallyaffectedparties.

Datawillbecollectedthroughsemi-structuredinterviewsandtheanalysisofpolicydocuments.A

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workshopwithstakeholderswillconstructtransformativeinnovationhistories.Useofthismethodology

willhelptoensurethatalthoughthecasestudiesarediverse,therewillbevalueincomparingacrossthese

attemptstoformulateandimplementframe3approaches.Thecasestudiesareasfollows:

TEKES,Finland:Smart,low-carbonmobilitysolutionsforpassengertransport.

Theproject’sprincipalaimistoreducecarbonfootprintbydevelopingsustainableandsmart

mobilitysolutions.Overthepastdecade,Finlandhashadover20projects,bothpublicandprivate,

seekingtochallengeandchangethesocio-technicalsystem.Theseinitiativescanbeviewedas

nichesforwidersystemtransformation.Thiscasestudywillbuildanunderstandingofthe

strengthsandweaknessesoftheseattemptsatnicheexperiments.

ResearchCouncilofNorway:ResponsibleResearchandInnovation(RRI)withintheBiotechnologyfor

Innovation(BIOTEK2021)programme.

Thisisalarge-scale,long-termprojectwithvariousactorsfromacrossthebiotechnologysector.Its

flagship,the‘CentreforDigitalLifeNorway’(DLN),wascreatedtoenhancecollaborationbetween

lifesciences,informatics,mathematicalsciencesandengineering.Thisprogrammehasprogressed

furthestinNorwayintheadoptionanddevelopmentofRRIandhasledtotheir‘Frameworkfor

ResponsibleInnovation’.Byexaminingthiscase-study,thecountryteamcanexaminehowRRI

developsaspartofaTransformativeInnovationPolicy‘toolkit’.

DepartmentforScience&Technology,SouthAfrica:Cofimvaba’sTechnologyforRuralEducationand

Development(Tech4RED).

IncollaborationwiththeDepartmentofEducation(DoE),thistransformativeinnovationinitiative

investigatedarangeoftechnologiesandmeasuresthatcouldaddressruraleducationand

developmentchallengesinSouthAfrican.ThemaincomponentsofTech4REDare:ICTand

Education,Nutrition,WaterandSanitation,eHealth,Energy,andScienceCentre.Eachcomponent

involvesarangeofstakeholdersincludinggovernment(national,province,districtandlocal),

academia,industry,andcivilsociety.AlthoughspearheadedbytheDST,partnersintheCofimvaba

Tech4REDinitiative,forexampleintheICTandEducationcomponent,includetheDST,

DepartmentofBasicEducation(DBE),schoolswiththeDistrict,theEasternCapeDepartmentof

Education(ECDoE),andtheDepartmentofRuralDevelopmentandLandReform(DRDLR).Inthe

NutritioncomponentsstakeholdersincludeCSIR,AgriculturalResearchCouncil(ARC),Nestle,and

schools;whileintheEnergycomponent,stakeholdersincludeEskom,Municipality,schools,and

industryactors-Anglo-AmericanPlatinum,CleanEnergyInvestments,andAirProducts.

Theconceptualisation,designandimplementationofTech4REDisinfluencedbyvariouspolicies

whichtogetherhelpedtoshapethecontextwithinwhichTech4REDoperates.Someofthecore

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policiesare:TheNationalDevelopmentPlan;NationalICTR&DandInnovationRoadmap;The

DepartmentofEducationWhitePaperone-Education;TheNationalSchoolNutritionProgramme;

TheNationale-Healthstrategy2012-2016;and,Schooling2025..TheTech4REDprogrammeis

comprehensive,holistic,andchild-centredwhilealsoincorporatingfamiliesandwider

communities.Thecasestudyexploresaspectsoftheprogrammeanddrawoutlearningfromthis

complexandambitiousinitiative.

Vinnova,Sweden:Challenge-drivenInnovationinitiatives(CDI).

ThiscasestudyillustratesoneofthecentralprincipalsofexaminationforTIP.Howcanweturn

socialandenvironmentalchallengesintoopportunitiesforgrowththroughthedevelopmentof

innovativesolutions?Bygoingstraighttotheheartofsocietalproblemsandseekingdirect

solutionstothem,growthcouldbecreatedbyaddressingchallengesanddirectlyimprovingpublic

welfare.Notby(asthedominantinnovationpolicyparadigmassumes)orientatingtoinnovations

thataddressprimarilyeconomicfactorsfirst,andthatthen,assumethatgrowthfromthesewill

raiselivingstandards.CDIfocusesonfourareas:1)futurehealthcare;2)sustainableattractive

cities;3)informationsociety3.0;4)competitiveindustries.Fromatransitionsperspective,these

CDIinitiativesmainlyaimtofacilitatenichedevelopmentandthecasestudywillallowinitial

analysisofprogresstodate.

Colciencias,DepartmentofScience,Technology&Innovation,Colombia:InclusiveInnovationincoffee

sector

TheColombiancoffeeindustryhasbeenanarenaoflearningandinnovationforbestpartof90

years.AremarkablefeatureoftheColombiancoffeesectoristhatwhilstitisaninternationally

competitivesector,thesuppliersareoverwhelminglyindependentmicroandsmallagricultural

producers.Throughacombinationoftechnologicalinnovation,institutionalentrepreneurshipand

supportofSTIpolicy,thecoffeesectorhasprovidedaviableandsustainablelivelihood.Important

socialfeaturessuchassustainability,participation,qualityoflife,fairtrade,R&Dandtechnical

assistancehavefeatured.Further,abalanceappearstohavebeenmaintainedbetweenhumanand

naturalresources.Thiscasestudywillinvestigatethedegreeandmannerinwhichframe3

elementsplayedaroleintheprocess.Alsowhethersocialandtechnologicalnichesevolvedto

supporttransformationalprocesses,andhowtheregime,regionandsectorinstitutionsmayhave

alignedprioritiestoprotectandnurturetheevolutionofinclusiveniches?Howtoowere

capabilitiesandotherinclusivefeatures“scaledup”?

Conclusion

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Thispaperhasprovidedanoverviewofboththinkingbehindtransformativeinnovationpolicyandthe

TransformativeInnovationPolicyConsortium(TIPC)designedtofosternewapproachestoscienceand

innovationpolicy.ItisclearthatthejourneyofTIPChasjustbegun.

References(notcomplete,apologiesfortheinconvenience)

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Practice.London:PalgraveMacmillanUK.

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NewDirectionsintheStudyofLongTermTransformativeChange.NewYork:Routledge.

Lundvall, B.-A. (ed.) 1992. National Systems of Innovation: Towards a Theory of Innovation and Interactive

Learning.

Nelson,R.,ed.(1993).NationalInnovationSystems.AComparativeAnalysis.NewYorkandOxford:OxfordUniversityPress.Jasanoff,S.1990.TheFifthBranch:ScienceAdvisorsasPolicyMakers.Cambridge:HarvardUniversityPress.Joly,P.-B.2016.Beyondthecompetitivenessframework?Modelsofinnovationrevisited.Journalof

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Mulgan,G.2007.SocialInnovation.London:YoungFoundation

Pawson,R.&Tilley,N.(1997).RealisticEvaluation.London:Sage.

Pawson,R.(2013).Thescienceofevaluation:arealistmanifesto,London,SAGEPublications.Rogers,P.,(2014),TheoryofChange,UNICEF.Retrievedfrom:http://devinfolive.info/impact_evaluation/img/downloads/Theory_of_Change_ENG.pdf,K.andReichardt,K(2015)Goingbeyondinstrumentinteractions:Towardsamorecomprehensivepolicymixconceptualizationforenvironmentaltechnologicalchange.SPRUWorkingPaperSeries,no.12.

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UnitedNations.25.09.2015.Transformingourworld:the2030AgendaforSustainableDevelopment.

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Appendix1:3framessummary

Thetablebelowisaselectivemixtureofideasrelatingtothethreeframesofresearchandinnovation

policy.Thetableaimstofunctionasasimplifyingdevicesothatthedistinctivenessofeachframecanbe

easilygraspedataglance.Thisleadstocertainimplications:

Avoidanceofexcessivespecification:yes,eachframeismorenuancedthanthetableallowsandhas

alsodevelopedovertime(forexample,innovationsystemsliteraturehasstartedtopayattention

tocivilsociety,entrepreneurshipapproacheshavestartedtotalkaboutsocialentrepreneurship).

Thesimplificationsinthetablearemadepurposefully,reflectingatrade-offbetweenprecisionand

clarity.Itisalwayspossibletoaddmorenuanceandcomplexityinthetextdescribingtheliterature

aroundeachframework.

Choiceofcriteria:ideallythetableshouldnotcontaintoomanycriteria,otherwiseitwouldbecome

toodifficulttofollow.Thisindicatesa(future)needtoagreeonthecrucialones.Admittedly,there

ismuchworktobedoneinthisregard.

Exclusivity:asageneralrule,cellsineachrowshoulddiffersubstantiallyfromeachother.Therefore,

criteriacommontoallormostoftheapproachesshouldbeavoidedwherepossible.Moreover,

sincetheframesarecumulativewitheachpartlyreactingtobutalsobuildingonthepreviousones

itissensibletoconstructthetableinsuchamannerthateachcellwouldfocusonlyonthenovel

additionalfeaturesofeachframe.

Symmetry:theessentialdifferencesbetweentheframesshouldbeoutlinedsymmetrically(e.g.

“conflictvs.consensus”shouldbespecifiedforeachframe,notonlysomeofthem).Ifthiscreates

difficultieswithfillingthetableitindicatessomegapsincurrentthinkingthatrequireadditional

reflection.However,itisnotnecessarytoachievesymmetryforcriteriacontainingdescriptive

characteristics(suchas“typicalpolicyactivities”forwhichthenumberofactivitiesineachcellmay

welldiffer).

Finally,thetableproposesthatframe2containstwovariants.Inreviewingpolicyframeworksinthe

existingfiveconsortiumcountrieswenotethatwithinthenationalsystemsofinnovationframingthereare

anumberofvariantsandinthistablewehavedelineatedmoreandlessmarket-basedapproachesand

havebeguntocharacterizeamarket-basedapproach(“entrepreneurship”).Thelattercanbeseenasan

applicationofamoregeneralneoliberalapproachtothedomainofinnovationpolicy.Hencewehave

highlightedthedistinctiveemphasesofeachwith(a)and(b)whereappropriate.

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3FRAMES:ACOMPARISON

Inputprovidedby:JohanSchot(SPRU),EdSteinmueller(SPRU),LaurKanger(SPRU),TuomoAlasoini(Tekes)

Frame1:R&D Frame2:systems(a)andentrepreneurship(b) Frame3:transformativechange

Timeofdominance 1960s-1980s 1980stotoday Emerging

Maingeographical

focus

National Nationalandregionalsystemsofinnovationintersecting

withsectoralandtechnologicalinnovationsystems(a)/

Nationalwithparticularattentionto“centresofexcellence”

or“clusters”ofinnovativeactivity(b)

Multi-scalar:focusongrandchallenges

thatextendtomultiplescales

exceedinggeographical,sectoral,

technologicalanddisciplinary

boundaries

Focalactors Government,scientistsandindustry

actorswithatendencytoprioritize

largefirms

Interlinkedconfigurationsofgovernment,scienceand

industryactorswithparticularattentiontotheroleand

missionsofuniversities(a)/enterprises,marketsandthe

governmentwithaparticularfocusonNewTechnology-

BasedFirmsandstart-upculture(b)

Government,science,industry,civil

society,end-usersandnon-users(as

potentiallyaffectedpartiesand

contributorstotheinnovation

processes)

Justificationfor

policyintervention

Fixingmarketfailures:industriesfail

toconductbasicscientificresearch

thatisnotfullyappropriableor

conductlessofthisresearchthan

sociallydesirable

Fixinginstitutionalsystemfailures,includingfailureto

generateentrepreneurship:increaseinR&Dspendingdoes

notautomaticallyleadtohighperformanceintermsof

innovativeactivities.NB.Systemreferstosetoflinks

betweenactorsasinnationalsystemofinnovation

Fixingtransformationalsocio-technical

systemfailures:R&D,innovation

systemsandcommercializationdonot

leadtosolvingimportantsocialand

environmentalproblems

Mainstrategy Knowledgegeneration:provide Knowledgeutilization:boostabsorptivecapacity;increase Solvingsocialandenvironmental

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supportforbasicandappliedscience systemperformancebycreatingoflinksbetweenactors

andfacilitatingmutuallearning(a)/promote

entrepreneurshipandfacilitatethecreationofmarketsfor

innovativegoodsandservices(b)

challenges:morespacefor

experimentationwithnichesolutions

enablingsocio-technicalsystems

changeandtiltingtheinstitutionaland

regulatoryregimefieldtowards

transformativechangeofsocio-

technicalsystems

Natureofcritical

knowledge

Appropriateandtransferable:easy

toadopt,applyandutilizewithout

protectivemeasures

Stickyandsituated:utilizationrequiresproximity,

absorptivecapacityandinteractivelearning

Emergentandco-produced:generated

throughdialoguebetweenmultiple

actorsaspartofacollectivesearch

process

Focalareas Hightechnology:stressonthe

creationofradicalnovelty

Radicalandincrementalproductandprocessinnovations:

stressonsignificantprice/performanceimprovements

throughsuccessiveincrementalinnovations

Socio-technicalsystems:stresson

fundamentaltransformationofsystem

architecture,changingbothits

componentsanditsdirectionalityof

development

Typicalpolicy

activities

4. R&Dstimulation(subsidies,tax

credits,procurement,mission-

orientedprogrammes)

5. BuildingtheIntellectualProperty

Rightsregime

6. Educationpolicywithemphasis

• Constructinglinksbetweenactors(buildingplatforms,

networks,databases)andorganizingtechnologytransfer

• Stimulationoflearning-by-doing,learning-by-using,

learning-by-interacting

• Useofdemandstimuli(e.g.procurement)toenhance

andacceleratemarketdevelopment

• Stimulationofexperimentationwith

nichetechnologies,scale-upand

accelerationofsocio-technical

transitions(e.g.StrategicNiche

Management,innovation

intermediaries,Transition

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onScience,Technology,

EngineeringandMath(STEM)

subjects

7. Sciencecommunicationto

explaintheimportanceofSTEM

towiderpublic

8. Foresighttoselectfocusareas,

regulationandtechnology

assessmenttomanagenegative

impacts

• Buildingregionalandnationalsystemsofinnovationby

assessingcapabilitiesgapsandtechnological

opportunities,implementingpoliciestoaddressthem

• Enhancingskilldevelopmentbasedonproactiveanalysis

ofskillgapsandshortfalls

• Programstostimulateentrepreneurshipandincubators

(includingindoctrinationinthesocialvalueof

entrepreneurship)

• ImprovingbusinessconditionsforSmallandMedium-

SizedEnterprisesandstart-ups

• Addressingthenatureofequitymarkets(mezzanine

levelfinance,IPO,inclusioninexchanges),especially

angelandventurecapitalmarkets

Management)

• Newinstitutionalsolutionsfor

changingthedirectionalityof

existingR&Dandinnovation

activities(e.g.technologyforcing,

ResponsibleResearchand

Innovation,policymixesfor

stimulatingnichesanddestabilizing

existingsystems)

• Promotingsocial,inclusive,frugal

andpro-poorinnovation

• Bridgingscience/engineering,social

sciencesandhumanitiesinthe

educationsystem

Underlyingmodel

ofinnovation

Linearmodel:invention(discovery)

leadstoinnovation

(commercialization)leadsto

diffusion(adoption)

Interactiveandsystem-bound:chain-linkedmodelstressing

feedbackloopsbetweeninvention,innovationanduse;

evolutionarymodel,stressingongoinginteractionsbetween

actors,networksandinstitutionsresultinginpath-

dependency(a)/demand-pullmodel–needsof

organizationsandindividualconsumerslargelydrive

innovativeactivities(b)

Socio-technicalandexperimental:

quasi-evolutionarymodelincluding

non-random(purposeful)variation,

selectionandretentionwhileaccepting

emergenceasmaindynamic;stresson

feedbackloopsbetweeninvention,

innovationanduse,andongoing

interactionsbetweenactors,networks,

institutionsandtechnologiesacross

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scales.Focusoncirculationand

appropriationinsteadofdiffusion

Basicassumptions

aboutinnovation

• Divisionoflabour:cleardivision

oflabour–governmentprovides,

sciencediscovers,industry

appliesandconsumeradapts;

increaseinR&Dwillautomatically

translateintomoreinnovation

• Conflictvs.consensus:mostoften

embeddedinamilitary-industrial

complexthattakesdefence

needsasforerunnersandlarge

industriesasthe“natural”

intermediarytotranslate

scientificadvancesinto

commercialapplication;open

conflictwithnewfirmsand

industriesthatarenotpartofthe

club

• Technologicalandsocialprogress:

thelinkbetweenthetwois

largelyuncontested

• Divisionoflabour:multiplecloselyinteracting

actorswithdifferentbutpartiallyoverlapping

rolescontributingtotheoverallperformanceof

thesystem(a)/cleardivisionoflabour–thetask

ofthegovernmentistofacilitatetheoperationof

existingmarketsandtocreatemarketswhere

theydonotyetexist;lefttothemselvesmarkets

providenovelproductsandservicesatoptimum

quantityandprice(b)

• Conflictvs.consensus:evolutionaryinrhetoric

butfunctionalistinpractice,emphasison

cooperationandorchestrationbetweenvarious

actors,leadingtothefulfilmentofsystem

functions(a)/tendstobeconflict-oriented,

mainlystressinginternationalcompetitivenessof

statesandcompetitionbetweenenterprises(b)

• Technologicalandsocialprogress:thelink

betweenthetwoislargelyuncontested

• Divisionoflabour:blurred

boundaries,multipleactorscrossing

variousdomainsandenacting

overlappingroles,resultinginthe

co-productionofscience,

technologyandsociety

• Conflictvs.consensus:mixof

competition,cooperationand

intermediationisrequiredto

achievedisruptivesocio-technical

systemschange

• Technologicalandsocialand

environmentalprogressdonot

automaticallygotogether:

technologychoiceisnotneutral,but

containssocietalchoicesand

directionalitywithimplicationsfor

equalityandtheenvironment.

Basicassumptions • Dealingwithconsequences:new • Dealingwithconsequences:largelyreactive, • Dealingwithconsequences:

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aboutoutcomes technologiesareassociatedwith

highdegreeofuncertaintyand

unpredictabilitymakingit

virtuallyimpossibletoaddress

majorenvironmentalandsocial

impactsproactively

• Causality:stressoninnovationas

amotorofeconomicgrowth

leadstopublicwelfareasabonus

majorenvironmentalandsocialimpactsare

usuallyaddressedaftertheyhaveoccurred,

sometimeswithaparticularemphasisonthe

provisionofadequatemarketstimuli(b)

• Causality:stressoninnovationasamotorof

economicgrowthandincreasedcompetitiveness

leadstopublicwelfareasabonus

proactive,stressonanticipating

alternativefuturesassociatedwith

certaintechnologicalchoices

• Causality:stressoninnovationas

meansfordirectlyaddressing

environmentalandsocialchallenges

leadstoeconomicgrowthand

increasedcompetitivenessasa

bonus

Mainhazards • Governmentfailure:insufficient

fundingforbasicR&D

• Marketfailure:negative

externalitiesthatrequire

regulation

• Systemfailure:innovationsystemfailstoperformasa

synergisticwholeandtoenhanceinnovativeactivities

(a)

• Governmentfailure:toomanystaterestrictionson

businessactivities(b)

• Marketfailure:regulatoryneedtodealwithnegative

externalitiesinawaythatwouldnotstifle

entrepreneurship(b)

• Transformativefailure:failureto

inducefundamentaltransformation

tosocio-technicalsystemsforming

thebackboneofmodernsocieties

• Societalandenvironmentalneeds

failure:failuretosolveextra-

economicandcollectiveproblems

onmultiplescales

Parallelcounter-

narratives

• AppropriateTechnology

movement,focusonsmall-scale

solutions

• PoliticsanddemocratizationofScienceandTechnology

• Inclusiveandinteractivetechnologyassessment

• Technologicalfix:strongstate

interventionwithmassive

investmentinBigTechnologies

whichpromisetosolvelarge

environmentalandsocialproblems

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• Socialinnovation:moveawayfrom

technicalsolutionswhichare

perceivedaspartoftheproblem